San Diego Securities Lawyer Update: Will They Stay Or Will They Go – Merrill Lynch, Morgan Stanley and UBS Scale Back Recruiting Bonuses
In May 2017, Merrill Lynch announced plans to do away with [...]
Read MoreBroker Transitions
How Brokers Can Exploit the Broker Protocol to Facilitate Their Breakaway
Recently, a group of 13 brokers left Morgan Stanley with $2.2 billion of client assets [...]
Read MoreTransitioning Broker Alert – FINRA Adopts New Comp Disclosure Rule
The Securities and Exchange Commission approved last week a new rule proposed by FINRA, the Financial Industry Regulatory Authority, which…
Read MoreCredit Suisse Sues UBS for Raiding it’s Brokers
As we reported previously, Credit Suisse has decided to exit the retail U.S. brokerage market and has been in discussions…
Read MoreWells Fargo Strikes Deal To Recruit 250 Credit Suisse Advisors
Credit Suisse has announced plans to wind down its U.S. private banking division, which means the bank’s approximately 250 brokers…
Read MoreMorgan Stanley Smith Barney Ordered to Pay $5 Million to Recruited Brokers
San Diego, CA — Shustak Reynolds & Partners, P.C., announces that it obtained a FINRA Panel award of $5 million…
Read MoreShustak Reynolds & Partners, P.C. Obtains $486,615 FINRA Arbitration Award Against MSSB and Citigroup for Misrepresentations Made to Financial Advisor During Recruitment
Shustak Reynolds & Partners, P.C. Obtains FINRA Arbitration Award San Diego, CA – Shustak Reynolds & Partners, P.C., announces that…
Read MoreTips for Financial Advisors: How to Avoid the Pitfalls of Misrepresentation During the Recruitment Process
An Industry is Born Most people do not associate Philadelphia with the birth of the modern American securities industry, instead…
Read MoreMorgan Stanley Ordered to Pay $5 Million to Recruited Brokers
June 20, 2012. Shustak Reynolds & Partners, P.C., announces that it obtained a FINRA Panel award of $5 million dollars…
Read MoreShustak Reynolds & Partners, P.C. Obtains $486,615 FINRA Arbitration Award Against MSSB and Citigroup for Misrepresentations Made to Financial Advisor During Recruitment
The firm announces that it obtained a $486,615.77 FINRA arbitration award against Morgan Stanley Smith Barney (“MSSB”), Citigroup Global Markets…
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